Browse Related Topics For:

Broker-Dealer

604
SEC
301
FINRA
222
Investment Adviser
128
Enforcement Actions
105
Cybersecurity
98
Compliance
89
CFTC
84
OCIE
84
Securities Exchange Act
71
Dodd-Frank
54
Brokers
54
Financial Institutions
54
Registration
53
JOBS Act
47
Disclosure Requirements
47
Investors
47
Securities
46
Enforcement
46
Fiduciary Duty
45
Crowdfunding
40
Banks
40
Risk Alert
39
Data Protection
38
Banking Sector
38
EU
37
Securities Fraud
35
Conflicts of Interest
35
Popular
35
Swaps
34
FinCEN
34
Insider Trading
33
Anti-Money Laundering
33
No-Action Letters
33
Securities Act of 1933
31
Investment Funds
31
Reporting Requirements
30
DOL
28
Fraud
28
Sanctions
27
Audits
27
DOJ
27
General Solicitation
26
ERISA
26
Proposed Regulation
26
Regulation D
25
European Securities and Markets Authority (ESMA)
25
FCPA
24
Cyber Attacks
24
Financial Markets
24
Retirement Plan
24
Risk Management
23
Data Security
23
Due Diligence
23
Federal Reserve
23
IRA
22
Chief Compliance Officers
22
Corporate Governance
22
Data Breach
22
Exemptions
22
High Frequency Trading
22
Private Placements
21
Accredited Investors
21
Mutual Funds
21
PCAOB
21
Recordkeeping Requirements
21
Registration Requirement
21
UK
20
CFPB
20
Finders
20
Funding Portal
20
Regulation S-P
19
Derivatives
19
FDIC
18
Commodities
18
Financial Conduct Authority (FCA)
18
Investment Advisers Act of 1940
18
NASD
18
Rule 506 Offerings
18
SEC Examination Priorities
17
Best Interest Contract Exemptions
17
Industry Examinations
17
Risk Assessment
16
Bank Secrecy Act
16
Final Rules
16
Financial Regulatory Reform
16
Mary Jo White
16
NFA
16
Pay-To-Play
16
Policies and Procedures
16
Startups
15
Arbitration
15
Civil Monetary Penalty
15
Dark Pool
15
New Regulations
15
NYSE
15
OCC
15
Settlement
15
SIFMA
14
401k
14
Asset Management
14
CME
14
Data Privacy
14
ETFs
14
Hedge Funds
14
Investment Companies
14
Investment Company Act of 1940
14
Investment Management
14
Personally Identifiable Information
14
Proposed Amendments
14
Registered Investment Advisors
14
Whistleblowers
13
Advertising
13
Capital Raising
13
Futures
13
Insurance Industry
13
MSRB
13
No-Action Relief
12
Bribery
12
Criminal Prosecution
12
Cyber Incident Reporting
12
Cyber Threats
12
IOSCO
12
Municipal Advisers
12
NEP
12
Private Equity
12
Security-Based Swaps
12
Transfer Agents
11
Auditors
11
Corporate Counsel
11
EB-5
11
Exchange-Traded Products
11
FCMs
11
Hong Kong
11
Internal Controls
11
IRS
11
Security Risk Assessments
11
Social Media
11
Training
11
Virtual Currency
10
AIFMD
10
BSA/AML
10
Capital Requirements
10
Data Loss Prevention
10
Hackers
10
Identity Theft
10
Money Laundering
10
Notice Requirements
10
Private Equity Funds
10
Structured Financial Products
10
Underwriting
10
Vendors
9
Algorithmic Trading
9
Appeals
9
Australia
9
Capital Formation
9
Citigroup
9
Comment Period
9
Disgorgement
9
European Commission
9
Fees
9
Foreign Banks
9
Forum Selection
9
FTC
9
Fund Managers
9
Goldman Sachs
9
Major Swap Participants
9
Market Participants
9
New Guidance
9
NIST
9
Offerings
9
Private Funds
9
RMBS
9
Spoofing
9
Swap Dealers
8
Best Interest Standard
8
Board of Directors
8
C-Suite Executives
8
Capital Markets
8
China
8
CPO
8
FHFA
8
Financial Statements
8
Foreign Investment
8
Investor Protection
8
Market Manipulation
8
Misrepresentation
8
Mortgages
8
Municipal Bonds
8
Municipal Securities Issuers
8
Public Offerings
8
Regulatory Agenda
8
Regulatory Standards
8
Rule 15B9-1
8
SAR
8
Strategic Enforcement Plan
7
Acquisitions
7
Alternative Trading Systems
7
Background Checks
7
Broker Commissions
7
Canada
7
Cease and Desist Orders
7
Class Action
7
Deferred Prosecution Agreements
7
EMIR
7
Equity Markets
7
Examination Priorities
7
FFIEC
7
Filing Requirements
7
GAAP
7
Nasdaq
7
OTC
7
Ponzi Scheme
7
Private Offerings
7
Proposed Legislation
7
Ranieri Partners
7
Regulation A
7
Supervision
7
Third-Party
7
U.S. Treasury
7
Volcker Rule
6
Annuities
6
Bad Actors
6
Bitcoin
6
Cease and Desist
6
Clearing Agents
6
Commercial Bankruptcy
6
Confidential Information
6
Corporate Culture
6
Custody Rule
6
Cyber Crimes
6
EDGAR
6
Emerging Growth Companies
6
Employee Benefits
6
False Statements
6
Fixed Income Investments
6
FSOC
6
Incident Response Plans
6
Institutional Investors
6
Investment
6
IPO
6
ISDA
6
Liquidation
6
Mandatory Arbitration Clauses
6
Margin Requirements
6
Marketing
6
Mergers
6
Misappropriation
6
Municipal Securities Market
6
Net Capital Rule
6
Penalties
6
Proprietary Trading
6
Prospectus
6
Rating Agencies
6
Retirement
6
Rule 15a-6
6
Safe Harbors
6
Small Business
6
Stocks
6
Suitability Rule
6
Third-Party Service Provider
6
Title III
5
ALJ
5
Alternative Investment Funds
5
Amended Regulation
5
Arbitration Agreements
5
Bank Holding Company
5
Basel Committee
5
Credit Suisse
5
Cross-Border
5
Cross-Border Transactions
5
Cyber Insurance
5
Data Breach Plans
5
Derivatives Clearing Organizations
5
Disruptive Trading Practices
5
Fannie Mae
5
FATCA
5
FCRA
5
Financial Reporting
5
Foreign Exchanges
5
Foreign Official
5
Freddie Mac
5
Intermediaries
5
Internal Revenue Code (IRC)
5
Lehman Brothers
5
Libor
5
Material Nonpublic Information
5
Money Market Funds
5
Neither Admit Nor Deny Settlements
5
NYDFS
5
OFAC
5
Patriot Act
5
Prudential Regulation Authority
5
Qualified Mortgage Rule
5
Registered Representatives
5
Regulation SCI
5
REIT
5
Repurchases
5
Restitution
5
Rule 144A
5
Rule 147
5
Rule 506(c)
5
SEC Advisory Committee
5
Securities Litigation
5
Self-Regulatory Organizations
5
Stress Tests
5
Supervisors
5
Suspicious Activity Reports
5
Trade Market Abuse
5
Transaction Fees
5
Transaction-Based Compensation
5
Unregistered Brokers
5
Unregistered Securities
5
USCIS
5
Variable Annuities
5
Websites
4
Administrative Proceedings
4
Annual Reports
4
Avon
4
Bank of New York (BNY) Mellon
4
Benefit Plan Sponsors
4
Blue Sky Laws
4
Bonds
4
BrokerCheck
4
Clearing Agencies
4
Collateralized Loan Obligations
4
Commodity Futures Contracts
4
Commodity Pool
4
Corporate Officers
4
Creditors
4
CTA
4
Currency Transaction Reports (CTR)
4
Customer Protection Rule
4
Debt Securities
4
Elder Issues
4
Employer Liability Issues
4
Equity Securities
4
Examination Procedures
4
Failure To Disclose
4
Financial Adviser
4
Financial Services Industry
4
FOIA
4
Foreign Nationals
4
Forex
4
FSB
4
Fundersclub.com
4
Gramm-Leach-Blilely Act
4
Hart-Scott-Rodino Act
4
Incentive Compensation
4
Investigations
4
Investment Banks
4
Investment Firms
4
Investment Portfolios
4
Life Insurance
4
Market Access Rule
4
Material Misstatements
4
MiFID
4
New Legislation
4
Price Manipulation
4
Private Right of Action
4
Privately Held Corporations
4
PTEs
4
Public Comment
4
Qualified Retirement Plans
4
Red Flags Rule
4
SCOTUS
4
Section 5
4
Securities Exchanges
4
Securities Regulation
4
Shareholder Proposals
4
Stand-Alone SBSDs
4
Subsidiaries
4
Trading Platforms
4
Transparency
4
UBS
4
US v Newman
4
Venture Capital
4
Visas
4
Wash Trades
4
Whistleblower Awards
4
White Collar Crimes
3
Accountants
3
Accounting Fraud
3
Administrative Hearings
3
Affiliates
3
Aggregation Rules
3
AIFM
3
Alternative Mutual Funds
3
AngelList
3
Arbitrage
3
ASIC
3
Asset-Backed Securities
3
BEA
3
Benchmarks
3
Best Practices
3
Block Trades
3
Breach of Contract
3
Canadian Securities Administration
3
CARDS
3
CEA
3
CEOs
3
Churning
3
Class Action Arbitration Waivers
3
CME NYMEX
3
Conflict Mineral Rules
3
Credit Ratings
3
Data Collection
3
Direct Access Partners
3
Disclosure
3
Discovery
3
Dividends
3
EBA
3
Encryption
3
Escrow Accounts
3
ETNs
3
European Banking Authority
3
Excessive Fees
3
Executive Compensation
3
Exemptive Relief
3
Exports
3
Expungement
3
Filing Deadlines
3
Financial Services Authority
3
Fines
3
Foreign Affiliates
3
Form D Filing
3
Fundraisers
3
Government Entities
3
Hedging
3
Hiring & Firing
3
HSBC
3
Independence Rules
3
Indictments
3
Information Sharing
3
Injunctions
3
Interest Rates
3
JPMorgan Chase
3
LiquidAlts
3
Liquidity Risk Management Rule
3
Listing Standards
3
Merrill Lynch
3
MiFID II
3
Misleading Statements
3
Moody's
3
Morgan Stanley
3
Mortgage-Backed Securities
3
MSBSPs
3
Multinationals
3
NASAA
3
Nonbank Firms
3
Offering Documents
3
Oil & Gas
3
Omissions
3
Ontario Securities Commission (OSC)
3
Oppenheimer & Co.
3
Pensions
3
Personal Benefit
3
Personal Data
3
Political Contributions
3
Position Limits
3
PRA
3
Privity of Contract
3
Professional Liability
3
Proxy Access Rule
3
Public Disclosure
3
Publicly-Traded Companies
3
Regulation FD
3
Regulation S-K
3
Retail Investors
3
Retaliation
3
Ring-Fencing
3
S&P
3
Sales Commissions
3
Sarbanes-Oxley
3
Scienter
3
SEC Commissioner
3
Section 10(b)
3
Senior Managers
3
Shareholders
3
SIFIs
3
Singapore
3
SIPC
3
Small Offering Exemptions
3
Stock Exchange
3
Stock Trades
3
Structured Finance
3
Summary Judgment
3
Surveys
3
Third-Party Risk
3
Threshold Requirements
3
Tick Size
3
TRACE
3
Trustees
3
U.S. Commerce Department
3
Unauthorized Access
3
Waiting Periods
3
Waivers
3
Wells Fargo
2
Ability-to-Repay
2
Administrative Appointments
2
Administrative Authority
2
Affiliated-Business Arrangements
2
Alstom
2
AML-CTF
2
Analytics
2
Annual Filings
2
Anti-Bribery
2
Anti-Corruption
2
Apple
2
Asset Valuations
2
Associated Persons
2
Automotive Industry
2
Bailout
2
Bank Accounts
2
Bank of America
2
Bank of England
2
Bankers
2
Barack Obama
2
Barclays
2
Beneficial Owner
2
Bernie Madoff
2
Big Data
2
BIS
2
BitLicense
2
Books & Records
2
Broken Windows
2
Brokerage Accounts
2
Business Advice
2
Bylaws
2
C&DIs
2
Captive Insurance Company
2
CBOE
2
CDD
2
Checking Accounts
2
CIP
2
Collateralized Debt Obligations
2
Commodities Exchange Act
2
Compensation
2
Compensation Agreements
2
Consultation
2
Consumer Lenders
2
Contract Interpretation
2
Convertible Debt
2
Corporate Financing Rule
2
Corruption
2
Countrywide
2
CPOs
2
Credit Checks
2
Credit Default Swaps
2
Credit Unions
2
Criminal Sanctions
2
Cybersecurity Framework
2
Deadlines
2
Delays
2
Deutsche Bank
2
Directors
2
Disciplinary Proceedings
2
Dismissals
2
Dispute Resolution
2
Division of Investment Management
2
Educational Communications Rule
2
Electronic Blue Sheets
2
EMMA
2
Employer Group Health Plans
2
Enforcement Statistics
2
Equity Research Rule
2
Established Business Relationship
2
EU-US Privacy Shield
2
Exceptions
2
Exploitation
2
Extraterritoriality Rules
2
Facebook
2
Failure-to-File
2
FCC
2
Federal Budget
2
Federal Register
2
Fee Disclosure
2
Financial Sector
2
FIRREA
2
Flood Insurance
2
France
2
Free Identity Theft Protection
2
FSMA
2
Funding
2
G-SIB
2
Global Systemically Important Financial Institutions (GSIFI)
2
Governance Standards
2
Government Investigations
2
Greece
2
Healthcare
2
HHS
2
High Net-Worth
2
High-Yield Markets
2
Hong Kong Securities and Futures Commission (HKSFC)
2
Hospitality Industry
2
Immigrants
2
Income Taxes
2
Information Governance
2
Information Reports
2
Information Systems Security Program (ISSP)
2
Institutional Investment
2
Insurance Litigation
2
Intangible Property
2
Interest Rate Swaps
2
Internal Investigations
2
International Data Transfers
2
International Harmonization
2
Internet
2
IRA Rollovers
2
ISS
2
Japan
2
Jurisdiction
2
KBR (formerly Kellogg Brown & Root)
2
Kickbacks
2
Larger Participant
2
Legal Entity Identifiers
2
Lenders
2
Leverage Ratio
2
Leveraged Loans
2
License Agreements
2
Licensing Rules
2
Loan Modifications
2
M&A Brokers
2
Margin Calls
2
Market Pricing
2
Material Disclosures
2
Mexico
2
Money Services Business
2
Municipalities
2
National Futures Association
2
Non-Public Information
2
NRSRO
2
OCR
2
Offshore Companies
2
Outsourcing
2
Payday Loans
2
Payment Systems
2
Penny Stocks
2
Personal Liability
2
Prejudgment Interest
2
Privacy Policy
2
Private Investment Funds
2
Professional Conferences
2
Prohibited Transactions
2
Proxy Solicitations
2
Proxy Voting Guidelines
2
Pump and Dump
2
Rare Earth Metals
2
Real Estate Investments
2
Red Notices
2
Referral Fees
2
Regulation S
2
Regulation S-X
2
Regulation SHO
2
Regulation T
2
Required Documentation
2
Rescission
2
Resource Extraction
2
Retail Market
2
Retailers
2
Reverse Mergers
2
RICO
2
Risk Mitigation
2
Rule 2210
2
Rule 506
2
Rulemaking Process
2
Safeguards Rule
2
Sales & Use Tax
2
SDN List
2
Securities Violations
2
Security and Privacy Controls
2
Security Audits
2
SEFs
2
Segregated Funds
2
Settlements
2
Siemens
2
SLUSA
2
Small Cap Stocks
2
South Korea
2
SRO
2
Standard of Care
2
State and Local Government
2
Statute of Limitations
2
Statutory Waiting Period
2
Stock Repurchases
2
Suitability Requirements
2
Surety & Fidelity
2
Swap Clearing
2
Task Force
2
Tax Returns
2
Technical Standards
2
Time Extensions
2
UCITS
2
US-EU Safe Harbor Framework
2
Valuation
2
Wall Street
2
Whistleblower Protection Policies
2
White Paper
2
Wire Fraud
2
Withholding Tax
2
Young Lawyers
1
529 Plans
1
ABS
1
ACH Payments
1
Adequate Assurances
1
Adjustable-Rate Mortgage
1
Administrative Exemption
1
Administrative Fines
1
Administrative Procedure Act
1
Adverse Employment Action
1
Aerospace
1
Affordable Care Act
1
AICPA
1
AIG
1
Airlines
1
AirNB
1
Akamai Technologies
1
Alternative Fee Arrangements
1
AMF
1
Angel Investors
1
Annual Assessments
1
Annual Notices
1
Anti-Abuse Rule
1
Anti-Retaliation Provisions
1
Anti-Tying
1
Appearance Policy
1
Appointments Clause
1
Arbitration Awards
1
Arbitrators
1
Arthur Anderson
1
Article II
1
Article III
1
Asia
1
Asset Diversification
1
Asset Freeze
1
AT&T Mobility v Concepcion
1
ATMs
1
ATS
1
Attorney Generals
1
Attorney's Fees
1
Audited Financial Statements
1
Australian Securities and Investments Commission
1
Auto Manufacturers
1
Automatic Renewals
1
Bad Faith
1
Bank Fraud
1
Banking Examinations
1
Bankruptcy Code
1
BATS Exchange
1
BE-180
1
Beneficiaries
1
Bermuda
1
Bilateral Agreements
1
Binary Options
1
BizJet
1
Bonuses
1
Breach Notification Rule
1
Bruker
1
Bulk Purchasing
1
Burden of Proof
1
Bureau of Economic Analysis
1
Business Associates
1
Business Continuity Plans
1
Business Development
1
Business Taxes
1
Business Valuations
1
Buyers
1
BVI Business Companies
1
Cancellation Rights
1
Carried Interest
1
Carve Out Provisions
1
Case Management
1
Cayman Islands
1
CCO
1
CCPs
1
CD&I
1
CDS
1
CFOs
1
CFPB Bulletins
1
Change in Control
1
Change in Ownership
1
Chapter 11
1
Charles Schwab
1
Check the Box Rules
1
Choice-of-Law
1
CISO
1
CISPA
1
City of Pontiac
1
Civil Forfeiture
1
Claims Made Policy
1
Clawbacks
1
Clean Energy
1
Clearing Members
1
Cloud Computing
1
CNIL
1
Coal Industry
1
Cobalt
1
Coerced Patronage
1
Collateral
1
Collateral Estoppel
1
Combined Reporting
1
Commingling
1
Commodity Broker
1
Community Banks
1
Compensation & Benefits
1
Compensation Standards
1
Compensatory Damages
1
Competition Authorities
1
Comptroller
1
Confidentiality Agreements
1
Consent
1
Consolidated Audit Trail
1
Construction Contracts
1
Consumer Financial Contracts
1
Consumer Reporting Agencies
1
Continuity of Enterprises
1
Contract Disputes
1
Contract Terms
1
Conversion
1
Cooperation
1
Corporate Bonds
1
Corporate Communications
1
Corporate Executive Boards
1
Corporate Executives
1
Corporate Financing
1
Corporate Fines
1
Corporate Gifts
1
Corporate Issuers
1
Corporate Veil
1
Corporations Code
1
Corrective Actions
1
Counterclaims
1
Counterparties
1
Covered Business Method Patents
1
Covered Entities
1
Covered Financial Institutions
1
Credit Cards
1
Credit Monitoring
1
Credit Rating Agencies
1
Criminal Background Checks
1
Crisis Management
1
Critical Infrastructure Sectors
1
Cross-Selling
1
Cuba
1
Currency Fluctuation
1
Customer Funds
1
Customer Funds Protection
1
Customer Identification Program (CIP)
1
Cyberforensics
1
Cybersecurity Examination Initiative
1
D&O Insurance
1
Dallas Airmotive
1
Data Security Act
1
Data Use Policies
1
De Minimis Claims
1
Dealers
1
Debt Collection
1
Debt Market
1
Decimalization
1
Defamation
1
Deferred Compensation
1
Delegation Doctrine
1
Department of Corporations
1
Department of Insurance
1
Deposit Guarantee System
1
Detroit
1
Diebold Inc
1
Digital Advertising Alliance
1
Digital Assets
1
Digital Securities
1
Director Compensation
1
Disability Benefits
1
Disabled
1
Disclaimers
1
Distributed Denial of Service
1
Distribution Rules
1
Distributors
1
Divorce
1
DMO
1
Document Productions
1
Document Requests
1
Documentation
1
Dow Jones
1
DPPs
1
Drones
1
DSIO
1
Duty to Cooperate
1
Duty to Defend
1
Duty to Disclose
1
Duty to Monitor
1
E*Trade
1
eBay
1
EBITDA
1
EBSA
1
EFRP
1
EFTA
1
Elder Abuse
1
Electronic Communications
1
Electronic Filing
1
Electronic Trading
1
Elizabeth Warren
1
Email
1
Emerging Technology Companies
1
Employee Credit Checks
1
Employment Contract
1
End-Users
1
Endangered Species Act (ESA)
1
Energy
1
Energy Market
1
Energy Sector
1
Enron
1
Enterprise Risks
1
Entrepreneurs
1
Environmental Claims
1
EPA
1
Equity Compensation
1
Equity Investors
1
Equity Plans
1
Equity Swaps
1
Escheat
1
Ethics
1
EU Data Protection Laws
1
European Central Bank
1
European Court of Justice (ECJ)
1
Europol
1
Excise Tax
1
Executive Orders
1
Exemptive Orders
1
Export Controls
1
Extensions
1
Extradition
1
Fair Chance Act
1
Fair Lending
1
Fair Market Value
1
False Advertising
1
False Claims Act (FCA)
1
Falsified Documents
1
Family Businesses
1
Family Offices
1
Farms
1
FATF
1
Faxes
1
FBAR
1
Federal Arbitration Act
1
Federal Pilot Programs
1
Fee-Sharing
1
Fee-Shifting
1
FERC
1
FICC
1
FICC Market Standards Board (FMSB)
1
Financial Abuse
1
Financial Analysts
1
Financial Crimes
1
Financial Crisis
1
Financial Transaction Tax
1
Finder's Fees
1
FINRA Hearing Panel
1
Fiscal Reports
1
Fitch
1
Flash Boys
1
FLSA
1
Food Commodities
1
Foreclosure
1
Foreign Direct Investment
1
Foreign Equity Securities
1
Foreign Financial Assets
1
Foreign Financial Institutions (FFI)
1
Foreign Insurance Companies
1
Foreign Investment Fund
1
Foreign Private Issuers
1
Forfeiture
1
Form 10-Q
1
Form BE-10
1
Forward Contracts
1
Franchise Tax Board
1
Franchise Taxes
1
Fraud Alerts
1
Fraudulent Wire Transfers
1
FTC v Wyndham
1
Fund Distribution
1
Funding Options
1
Future Commission Merchants
1
G-SIFI
1
GA Supreme Court
1
GAAS
1
GE Capital Bank
1
Gifts
1
GlaxoSmithKline
1
Global Disputes
1
Global Economy
1
Global Market
1
Good Faith
1
Goodyear
1
Google
1
Governor Vetoes
1
Green Cards
1
GRId System
1
GSE
1
Guaranteed Introducing Brokers
1
HALOS Act
1
Harmonization Rules